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Guiding Principles and Operating Procedures
U.S. Africa Command Social Science Research Center
I.
Introduction
The U.S. Africa Command Social Science Research Center (SSRC) is comprised of social
scientists with the aim of helping U.S. Military leaders and policy makers better understand
Africa and its peoples. We social scientists, sharing our common passion for Africa and our
loyalty to the United States, see ourselves as bridges that make intercultural dialogue possible
between multiple entities, and pave the way for their sustained cooperation. For this reason, we
believe that our mission provides a social good. This good derives from the fact that we equip
U.S. Africa Command’s leaders and policy-makers with improved knowledge and analytical
tools to enable them to design new and better approaches to security and human well-being on
the African continent.
SSRC works to support the U.S. Africa Command mission within the parameters set forth in this
document. The mission statement is: United States Africa Command, in concert with other U.S.
government agencies and international partners, conducts sustained security engagement
through military-to-military programs, military-sponsored activities, and other military
operations as directed to promote a stable and secure African environment in support of U.S.
foreign policy.
Our relationship with the communities we work with in Africa is crucial as it contributes to
shaping African perceptions of U.S. Africa Command and the United States. We therefore have a
commitment to conduct ourselves in a professional and responsible manner whenever we carry
out research, and to treat all people with dignity, respect, and transparency. In all circumstances
we will adhere to this code.
We are conscious that our research has socio-political implications; therefore, we strive for the
highest standards of honesty, transparency, and moral integrity. Within the continent, we aspire
to build solid and professional relationships with African experts so that we mutually benefit
from the exchange of knowledge. In building these professional relationships we will carefully
take into consideration the apprehension with which military (both U.S. and other military
groups) activities are perceived and the political contexts in which we are operating.
Because political and intellectual information becomes obsolete if not regularly updated, we will
seek to stay abreast of socio-political trends on the continent for the benefit of our mission and
our African partners. For this reason, we value work in the field as a vital source providing
current first-hand information.
II.
Roles of the SSRC
A. Research
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SSRC’s main focus is to carry out research projects that will assist U.S. Africa Command in its
mission and expand the knowledge base of its members. The SSRC designs, conducts, and
supports research using its members’ expertise to offer input into policy, planning, and
implementation. The choice of research issues will be based on the best scholarly judgment and
assessment of the costs/risks and benefits for all stakeholders (including local participants and
U.S. Africa Command). The intent is to balance institutional needs and constraints with
academic freedom.
As a standard, a research project will be directed by one of the SSRC members with the
assistance of a Socio-Cultural Advisory Team (SCRAT). On any given research team, members
will be designated according to the skills that they bring to the task. It is understood that, for
ethical reasons, team members will employ the skills in which they are proficient, and will not
employ methods that go beyond the scope of their training and professional experience.
A SCRAT is composed of individuals with a variety of skill sets. The specific composition of a
SCRAT is determined by the SSRC to best address problem-driven research. All members of a
SCRAT will follow the guidelines set forth in this document.
Mutual respect and collaboration throughout the research process should characterize the
relationship between the SSRC and the SCRAT. As a standard, the SSRC Team Lead directs and
oversees the research activities conducted by the SCRAT.
B. Interaction between Researcher and Host Community
US military presence on the African continent is sometimes regarded with strong misgivings.
There are many reasons for this skepticism, some political and some historical. It would not be
an exaggeration to say that suspicion related to the activities of U.S. military forces on the
continent is a reality, especially among African intellectuals. As such, there is a strong burden to
gain and maintain the trust and confidence of academic counterparts and populations at large.
All researchers have a professional responsibility to respect the host society. Research will be
carried out in full compliance with the local norms, customs, and laws as well as the ethical
guidelines laid out in the SSRC Code of Ethics. Researchers will make their research objectives
clear and will remain aware of the concerns and welfare of the individuals or communities
studied.
We commit to offer to U.S. Africa Command socio-culturally pertinent insights and advice. We
do not engage in concealed, clandestine, or covert activities and we will not be involved in
activities that will harm our credibility as social scientists or compromise our relationship with
local communities.
Freely given, informed consent will be obtained from all participants. Researchers should use
courtesy and discretion in their initial approach to potential participants, understanding that the
individuals might not agree with the U.S. Military, nor wish to be publicly identified with it.
Given that, researchers must make their objectives clear and remain aware of the concerns and
welfare of the individuals and the host community involved in the project.
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As a general rule, the identity of all research participants will remain anonymous. Participants
will be given the opportunity to make choices regarding degree of attribution for the information
that they share and for their direct remarks. This is to say that participants can choose to make
the entire interaction, or segments of it, “off the record”. They can choose to be recognized for
conveying general information, or they can choose to be quoted directly. The researcher must
respect, and adhere to, the wishes of the participants.
C. Interaction Between SSRC and Independent Researchers/Scholars Funded by the
SSRC
Vetted by SSCR, independent researchers will be employed based on several criteria, including;
1) the researcher’s background, skill set, and ability to carry out the project; 2) the quality of the
project proposed by the researcher; and 3) the fit of this project with the overall goals for the
country or region in which it would be carried out, as evaluated by the SSRC. The independent
researchers are bound to the Code of Ethics laid out by the SSRC.
III.
Methods
SSRC members come from a variety of disciplines and will utilize the methodologies in which
they have been trained. As a group, our methods for conducting research can include the
following:
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Interviews (structured, semi-structured, intensive, open-ended)
Focus groups
Surveys
Questionnaires
Ethnographic Research
Participant Observation
Observation
Documentary research (archival, photographs, primary document collection)
Material analysis
Sociolinguistic analysis
Statistical analysis
Participatory Assessment
Rapid Rural Assessment
Literature Reviews
Textual and Critical Discourse Analysis
Drawing from these methodologies, we will develop research designs that address specific
hypotheses and/or problems that concern the U.S. Africa Command.
All research designs must be approved by a U.S. Africa Command panel. This panel will
include, but not be limited to:
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-Director, SSRC
-Judge Advocate General (military lawyer)
-Strategy, Plans, and Policy member (political-military affairs)
Other likely members will be member of supported task force, chaplain, and outside academic
reviewer.
Panels for SCRATs under the tactical control of forward-deployed task forces (e.g. CJTF-HOA)
will still be convened. While the panel will be conducted internally at the task force level, the
results must be forwarded to SSRC for final approval and coordination with relevant U.S. Africa
Command entities.
IV. Interactions with Supported Military Units
The SSRC and SCRAT will provide direct support to military task forces operating in Africa.
SCRATs are under the operational control (OPCON) of these units. While the task force might
have missions that involve the use of force, the collection of intelligence, and/or intent to counter
violent extremism, SCRAT’s mandate is to adhere to the academic and ethical codes set forth in
this document.
The work of SSRC and SCRAT is to contribute understanding of issues that fall under the
mission of the U.S. Africa Command. This might entail research into socio-political conditions
that could foster violent extremism, but SSRC and SCRAT are not actively involved in task force
missions to counter violent extremism. This document is in part, to aid the task force in
understanding the parameters of credible academic research.
V. Ethics
In addition to the military and security framework of task force support, SSRC and SCRAT
researchers work in environments where civil power is unevenly distributed among the
stakeholders. Within this context, we are obligated to maintain our personal and professional
ethical standards and to protect the security, identity, and integrity of our research participants.
In the research process, SSRC and SCRAT will inevitably face ethical dilemmas from competing
obligations and conflicts of interest in the civil-academic-military arena. The SSRC and its
director share a responsibility to address areas and situations in which conflicts between ethical
principles and aims of research might arise, and to raise these ethical concerns through the
appropriate chain of command.
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SSRC and SCRAT identify their highest priority as conducting research in a manner consistent
with “do no harm.” To the best of our abilities we will conduct our research in accordance with
the guidelines of the Universal Declaration of Human Rights of 1948, the National Research Act,
and the Ethical Principles and Guidelines for the Protection of Subjects set forth in the Belmont
Report.
The SSRC will mandate all researchers who work under its umbrella to adhere to its Code of
Ethics, and both its staff and independent researchers shall not be required to act contrary to this
code.
The application of informed consent applies to all activities of researchers. Data that are
collected without informed consent may not be used in research publications. As an example, a
meeting with officials from a U.S. Embassy is viewed as outside the bounds of publication or
proprietorship if the embassy personnel do not specifically grant permission to use their
information.
A panel may be convened by the director of the Social Science Research Center to review
questions and problems concerning ethical issues in the conduct of planning and executing
research. This panel will be composed of the director, a lawyer, the SSRC country director, and
an outside observer.
For the specific ethical rules, see Appendix A
VI.
Dissemination and products
We aspire to enhance our collaboration with the broader academic community by interacting
with our colleagues and reviewing the current literature. We will actively participate in scholarly
forums and conferences, and submit the results of our research to scholarly journals for
publication.
Our research results will be accessible to SSRC and SCRAT as well as the broader U.S. military
community. Research findings, intended to enrich the U.S. Military’s understanding of the
African continent, will also be available to the general public through ‘in house’ publications.
We work as a team and seek to promote the exchange of scholarly information amongst
ourselves and the academic community. We welcome outside review of our activities and regard
such scrutiny as positive contribution to our practices.
In terms of the dissemination of knowledge to our colleagues at U.S. Africa Command and its
elements, we will present knowledge on socio-cultural questions in teaching formats, such as
lectures, briefings, and information papers.
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VII.
Accountability and Complaint Procedures
Issues concerning the conduct or activities of the research may be directed to the director of the
Social Science Research Center in Stuttgart, Germany. The telephone number is 0049 (0) 711
729 3874. The director may be contacted at Christopher.varhola@africom.mil.
VIII. Appendix
A. Code of Ethics
B. Sample introductory letter
Christopher Varhola, Ph.D.
Cultural Anthropologist
Director, Social Science Research Center
United States Africa Command
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APPENDIX A: SSRC Code of Ethics
1. As a basic principle of scholarship, we are transparent about the sources of our research
funding.
2. When we conduct field research, our methods and activities will be fully transparent and
disclosed to the Host Nation and the U.S. Country Team.
3. Our research findings do not necessarily reflect the views or policies of the U.S.
Department of Defense.
4. In our work, we strive to maintain the standards of academic freedom and integrity.
5. We will avoid deception and misrepresentation when interacting with research subjects.
We will not use research as a cover for covert intelligence activities, nor for political
partisan purposes.
6. We will use our data solely for the advancement of knowledge and scholarship.
7. We will comply with the requirements set forth in the Guiding Principles and Operating
Procedures of the SSRC.
8. As scholars we have an ethical obligation to make a full and complete disclosure of all
non-confidential sources involved in our research so that our work can be tested and
replicated.
9. As researchers, we are independent, critical thinkers. This means that we consider all
points of view, even those that may not align with U.S. Military policy.
10. We will not directly support the use of armed force.
11. As researchers we assist U.S. Africa Command in its efforts to understand the social and
cultural issues relevant to its stated mission.
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APPENDIX B: Sample Letter of Introduction
Letter of Introduction and Statement of Research Ethics and Intent
Dr. Name of Researcher is a member of the United States Africa Command Social Science
Research Center. This center is comprised of civilian scholars and is designed to provide the
U.S. Military and African partners with improved understanding of African societies, cultures,
and issues. Dr. Researcher is conducting research in Swaziland for the purpose of gaining
insight into the effects and perceptions of a recent military exercise (MEDFLAG) that included
providing medical and veterinary services to portions of the Swazi population. His research is
titled “Image and Impacts: U.S. Military Humanitarian Civic Action Programs in
Swaziland.” He will initiate his research in February 2010 and anticipates it lasting two to three
weeks. His research will entail interviews with elements of the general population as well as
members of the Swazi Government.
Dr. Researcher is employed and funded by the U.S. Department of Defense. The goal of his
research is to provide better understanding of how the United States Africa Command may better
plan and implement similar medical activities throughout Swaziland and other parts of Africa.
All research will be conducted under strict professional guidelines relating to ethics and methods.
The results of the research will be made public and accessible. The following rules govern all
research and activities for the duration of his time in this country:
1. Dr. Researcher will fully disclose his identity, military affiliation, and purpose of
research to all people he is interviewing.
2. The names of his research informants will be coded and kept confidential. No actual
names will be used without soliciting specific permission.
3. All interviews will be on a voluntary basis. He will not offer financial incentive or
engage in any form of coercion in exchange for information.
4. Dr. Researcher will not interview prisoners or any individuals under forcible detainment.
5. Dr. Researcher will not interview children without permission or presence of their
parents or appropriate guardians.
6. Interactions with vulnerable populations (e.g. refugees or IDPs) will be dealt with on a
case by case basis that safeguards their welfare and does not take advantage of their
position in a manner that may be interpreted as being coercive.
Dr. Researcher may be reached via his email: nameofresearcher@email. Additional comments
or concerns may be addressed to the Director of the Social Science Research Center at email
Christopher.varhola@africom.mil or telephone number 0049 711 729 3874.
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Name of Researcher, Date
Date
Christopher Varhola, Ph.D.,
Director, SSRC
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